Bank-Sponsored Collective Investment Funds

Bank-Sponsored Collective Investment Funds: Multi-Dimensional Regulation is the first reference resource on the complex statutory and regulatory scheme governing bank-sponsored common and collective trust funds (CIF).  It addresses the federal banking, securities, and tax laws, and federal standards of fiduciary responsibility under ERISA that regulate typical collective investment fund structures and day-to-day operations.

View a PDF of the Table of Contents.

Topics include:
  • The fiduciary nature of bank-sponsored CIF
  • The primary historical developments and factors that underlie the current regulatory scheme.
  • OCC regulations, interpretive letters, and other guidance
  • SEC guidance, including no-action letters and administrative actions
  • Department of Labor interpretations of ERISA
  • Internal Revenue Service interpretations and guidance
  • Discussion of eligible investor categories in common trust funds and collective trust funds

Author William P. Wade, Partner at K&L Gates LLP, has significant experience advising banks, trust companies, and other institutional investment managers with respect to collective investment funds and other investment management vehicles, products, and services, and has written numerous articles on those activities.

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Printed
Catalog #3011108
$225 List/ $195 ABA Members